Securities Enforcement and Litigation

Overview

Tannenbaum Helpern represents and advises financial institutions, investment advisers, broker dealers, investment banks, investment funds, multinational companies, executives and other professionals in investigations by the US DOJ, the SEC, FINRA, the CFTC, state Attorneys General, District Attorneys, and other regulators.

Our lawyers have extensive experience conducting internal investigations for Fortune 500 and other U.S. corporations and financial institutions, including investment advisers, broker dealers, investment banks, investment funds, and digital asset companies. Investigations have included issues ranging from suspected insider trading and other market abuses, potential violations of the Foreign Corrupt Practices Act, accounting fraud and financial statement misstatements, conflicts of interest/corporate governance, and executive misconduct. When conducting investigations, we determine whether there are valid claims of misconduct, then advise entities on whether and how to report to government authorities, and potential improvements to corporate governance processes, remediation, and compliance and training programs.

We have significant experience handling allegations or suspicions of:

• Securities, accounting and other financial fraud, including “suspected” Ponzi schemes
• Investment advisor fraud, disclosure issues and conflicts of interest, pay to play and other misconduct
• FCPA and anti-corruption violations
• Violations of OFAC and other sanctions regimes
• Violations of regulations governing the offering and trading of digital assets
• Anti-money laundering violations
• Misconduct by senior executives